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Student Services Manual (SSM)

SSM 107–01: Release of
Student Information

Purpose

To outline the ASU policy on release of student information, as
required by the federal Family Educational Rights and Privacy
Act of 1974, as amended

Sources

Family Educational Rights and Privacy Act of
1974 (also referred to as the Buckley Amendment or FERPA), 20
United States Code § 1232g, as amended

University Registrar Services

Office of General Counsel

Policy

The federal Family Educational Rights and Privacy Act of
1974 (also known as the Buckley Amendment and FERPA) affords
students certain rights with respect to their education records.
These rights are:

the right to inspect and review the student’s education
records within 45 days of the day Arizona State University receives
a request for access

the right to request the amendment of the student’s
education records that the student believes are inaccurate or
misleading

the right to consent to disclosures of personally identifiable
information contained in the student’s education records,
except to the extent that FERPA authorizes disclosure without
consent

and

the right to file a complaint with the U.S. Department of
Education concerning alleged failures by ASU to comply with the
requirements of FERPA.

Student Control of Access

In addition to the restrictions mandated by law, a student may
control access to his or her records by completing forms at University Registrar Services.

Note:

Inspection of student records by school officials for
educational purposes is permitted, provided that access is limited to only those education records in which the school officials have a legitimate educational interest.

A parent of a dependent student may challenge denial of access
by presenting the most current copy of Internal Revenue Service
Form 1040 and a notarized Affidavit of Dependency form to University Registrar Services. For complete information about
this procedure, see SSM 203–08,
“Affidavit of Dependency for Release of Records.” The
affidavit is retained by University Registrar Services
and must be renewed each tax year. Upon receipt of the affidavit,
the university may make the dependent student records available to
the parent.

Education Records

An education record is any record that is directly related to a student and is maintained by ASU or by a party acting for the university.
The Buckley Amendment provides the following guidelines for the
release of such information:

Releasable Information
(Directory Information)

Nonreleasable Information

Student name

Addresses: All addresses on record at ASU (e.g., local, home, mailing) and ASU e-mail, including the
directory number

Telephone numbers

Date of birth

Degrees, honors, and awards received (including Dean’s List, National Merit,
National Achievement, and National Hispanic Scholars)

Any information that the student has indicated as nonreleasable, including directory information

Conditions of Release of Educational Records

Directory Information

Directory information may be released to anyone without the
consent of the student, unless the student indicates otherwise to
University Registrar Services. Note that the social security number or other nondirectory information, either alone or in conjunction with other data elements, may not be used to identify student records when disclosing or confirming directory information without the student’s written consent.

Controlling Directory Information Release

Unless otherwise requested, a student’s name,
telephone number, addresses, class standing, and college may appear both in the directory of faculty, staff,
and students on ASU’s Web pages and in the printed ASU
Directory of Faculty, Staff and Students, which is published
each fall semester. To avoid the release of directory information in the printed
directory, the appropriate form must be submitted to University Registrar Services before the end
of the third week of the fall semester.

Students may limit the release of directory information on the
Web or in response to general inquiries at any time by submitting
the appropriate form to University Registrar Services.

ASU has a policy that regulates the sale of enrolled student
directory information through University Registrar Services. Unless otherwise directed by the student, directory
information is subject to sale to outside purchasers.

Personally Identifiable Information

Personally identifiable information about a student includes not
only the name of the student and other personal identifiers but
also a list or description of personal characteristics or any other
information that, alone or in combination, is linked or linkable to a specific student that would allow a reasonable person in the school community, who does not have personal knowledge of the student and/or relevant circumstances, to identify the student with reasonable certainty. Further, personally identifiable information includes
all information about a student that is not defined as directory
information, as well as any information that the student has
indicated may not be released, including directory information.

Personally identifiable information may not be released without
the student’s consent, except under the following
circumstances or to the individuals/organizations listed below or
otherwise as permitted by law. These releases are permissible, not
required.

ASU school officials with a legitimate educational interest. See definitions of “school official” and “legitimate educational interest” below in the Definitions section of this policy.

ASU officials, including teachers, who have a legitimate
educational interest in the information and officials of any
institution governed by the Arizona Board of Regents (ABOR) to the
extent necessary to implement and enforce sanctions under the
ABOR Student Code of Conduct

officials of other schools in which the student seeks admission, intends to enroll, or is already enrolled, if the disclosure relates to the student’s enrollment or transfer provided that the student, upon
request, receives a copy of the record that has been transferred
and has an opportunity to challenge, upon request, the content of
the record

authorized representatives of the U.S. comptroller general, the
secretary of the Department of Education, the assistant secretary
for education, and state educational authorities:

for the purpose of audit and evaluation of federally supported
education programs or the enforcement of and compliance with legal
requirements related to these programs

or

in connection with financial aid for which a student has
applied or which a student has received.

In these instances, personally identifiable information from the
education records of the student may be disclosed only as necessary
for purposes such as:

determining the eligibility of the student for financial
aid

determining the amount of financial aid

determining the conditions that will be imposed regarding the
financial aid

or

enforcing the terms or conditions of financial aid.

Any data collected by these representatives under these
conditions is required to be protected by the persons receiving it
in a manner that will not permit the personal identification of
students and their parents by other than those authorized above,
except when:

written consent of the student has been obtained

or

the collection of personally identifiable information is
specifically authorized by federal
law.

state and local officials or authorities to whom such
information is specifically required to be reported or disclosed
under state statutes enacted before November 19, 1974, specifically concerning the juvenile justice system

This exception requires ASU to enter into a written agreement with the organization that specifies the purpose, scope, duration of the study, the information to be disclosed, and the disposition requirements for all personally identifiable information when the study is completed.

accrediting organizations in order to carry out accrediting
functions

parents of a dependent student defined in the Internal
Revenue Code, as evidenced by a notarized affidavit stating
that the student is a dependent for income tax purposes, or other
documentation as may be separately approved by the university
registrar, on a case-by-case basis

appropriate parties in a health or safety emergency. The totality of the circumstances will be considered in determining whether personally identifiable information
should be disclosed, including but not limited to the following:

the seriousness of the threat to the health or safety of the
student or other individuals

the necessity of gaining the information to deal with the
emergency

the ability of the parties to whom the information is disclosed
to deal with the emergency

and

the extent to which time is of the essence in dealing with the
emergency.

or

persons holding a judicial order or lawfully issued subpoena. The school official will make a reasonable effort to notify the student of the order or the subpoena several days in advance of compliance except when the order or subpoena was issued for a law enforcement purpose and states that the student is not to be notified. Also, the school official will notify the third party receiving the education records of its obligation to notify the student before further redisclosure in compliance with a court order or subpoena.

Exceptions Related to Student Conduct

Disclosure of Violent Acts

ASU may:

disclose to an alleged victim of any crime of violence (as that
term is defined in 18 United States Code § 16) or a
nonforcible sex offense the final results of any disciplinary
proceeding conducted by ASU against the alleged perpetrator of such
crime or offense with respect to such crime or offense

disclose the final results of any disciplinary proceeding
conducted by ASU against a student who is an alleged perpetrator of
any crime of violence (as that term is defined in 18 United
States Code § 16) or a nonforcible sex offense if ASU
determines as a result of that disciplinary proceeding that the
student committed a violation of the university’s rules or
policies with respect to such crime or offense

or

disclose information concerning sex offenders and other individuals required to register under § 170101 of the Violent Crime Control and Law Enforcement Act of 1994, 42 United States Code § 14071, and the information provided to ASU under 42 United States Code § 14071 and applicable federal guidelines.

Disclosure of Disciplinary Records

ASU may:

include appropriate information in the education record of any
student concerning disciplinary action taken against such student
for conduct that posed a significant risk to the safety or
well-being of that student, other students, or other members of the
school community

or

disclose such information to teachers and school officials,
including teachers and school officials in other schools, who have
legitimate educational interests in the behavior of the
student.

Disclosure of Drug and Alcohol Violations

ASU may disclose to a parent or legal guardian of a student
information regarding any violation of any federal, state, or local
law or of any rule or policy of the institution governing the use
or possession of alcohol or a controlled substance, regardless of
whether that information is contained in the student’s
education records, if:

the student is under the age of 21

and

the institution determines that the student has committed a
disciplinary violation with respect to such use or
possession.

This shall not be construed to supersede any provision of state
law that prohibits ASU from making the disclosure described in this
section.

Investigation and Prosecution of Terrorism

ASU may, upon receipt of an ex parte court order, release educational records to the U.S. Attorney General
or his or her designee related to the investigation or prosecution
of an offense described in 18 United States Code §
2332b(g)(5)(B) or an act of domestic or international terrorism as defined
in 18 United States Code § 2331.

ASU, by acting in good faith to produce education records in
accordance with an order issued under this subsection, shall not be
liable to any person for that production.

Limitation on Redisclosure

ASU may disclose personally identifiable information from the
education records of a student only on the condition that the party
to whom the information is disclosed will not disclose the
information to any other party without the prior written consent of
the student. Personally identifiable information disclosed to an
agency or organization may be used by its officers, employees, and
agents only for the purposes for which the disclosure was made.
These limitations on redisclosure are referred to as third party
restrictions.

Third Party Restrictions Statement

The following statement appears on records released to agencies
or organizations:

“Information contained herein is for the intended
purpose only and is not to be used for any other purpose or
released to any other person or organization without the written
consent of the student whose name appears herein.

If you are unable to comply, in accordance with the federal
Family Educational Rights and Privacy Act of 1974, you are
required to return this record immediately to University Registrar Services.

Waiving Rights under the Act

A student may waive any of his or her rights under the act. All
waivers must be in writing to be valid.

Required Record of Releases of
Information

Except as otherwise required by law, ASU shall maintain records
of each request for and release of personally identifiable
information. This information shall be kept with the
student’s education records and maintained by the custodian
of the record.

The record indicates the parties who have requested or obtained
personally identifiable information, the legitimate interest these
parties had in requesting or obtaining the information, and the
date of such a request or disclosure.

Records of release or disclosure shall be available for
inspection only to the student, university personnel responsible
for custody of the record, and authorized representatives listed in
this policy under Conditions
of Release of Educational Records above.

These records must be maintained for as long as the education
records to which they pertain are maintained.

The act dictates the following exceptions to the requirement for
the recording of release of information:

requests by or disclosures to the student

requests by or disclosures to university personnel having a legitimate educational interest in the record

disclosures pursuant to a student’s written consent when
the consent is specific with respect to the party, or parties, to
whom the disclosure is made

requests for directory information

and

disclosures pursuant to a judicial order or lawfully issued subpoena.

Right to Inspect and Review Education
Records

ASU shall permit a student to inspect and review his or her
education records. Inspection of education records takes place at
reasonable times during business hours.

Limitations on Student Inspection and Review of
Education Records

ASU is not required to release the following information from
the education records of a student:

financial records and statements or any related information of the student’s parents

confidential letters and statements of recommendation if the student:

waived his or her right to inspect and review those letters and statements

and

those letters and statements are related to the student’s admission to ASU, application for employment, or receipt of an honor or honorary recognition.

Such a waiver is valid only if it is not a condition of admission to or receipt of a benefit or service from the institution and it is in writing and signed by the student. If the student provides such a waiver, the student must be given, upon request, the names of persons providing the recommendations, and the institution may not use the letters for any purpose other than that for which they were originally intended. The student may revoke the waiver in writing; however, revocation affects only those documents received after the date of the revocation.

education records of a student that contain information on more
than one student

(In such a case, a student may inspect and review or be informed
of only the specific information that pertains to that
student.)

the following records are not included in the definition
of education records and are, therefore, exempt from inspection and
review under FERPA:

records made or maintained by an ASU employee that are in the
sole possession of the maker and are not accessible or revealed to
any other individual except a temporary substitute for the maker of the record

employment records as made and maintained in the normal course of business

(This does not apply to an individual in attendance at the university who is employed as a result of his or her status as a
student.)

treatment records created or maintained by a physician, psychiatrist,
psychologist, or other recognized professional or paraprofessional
acting in the capacity of one of the above professionals made, maintained, or used only in connection with treatment of the student and disclosed only to individuals providing the treatment

(The student may request that the record be made available to a
physician or other comparable, appropriate professional for
review.)

records created or received that contain only information relating to a person after that individual is no longer a student in attendance and the records are not directly related to the individual’s attendance as a student (e.g., information pertaining to the accomplishments of alumni)

and

grades on peer-graded papers before they are collected and recorded by an instructor.

Amendment of Education Records

Having reviewed their records, students who wish to challenge
the content of the record on file must follow the procedures set
forth below. Grades may not be challenged under this act; only the
improper recording of a grade may be challenged under this act.

Informal Request

The student who believes that information contained in his or
her education records is misleading, inaccurate, or violates the
privacy rights of the student, may request that ASU amend
such records. A request to amend a student’s education
record(s) should be made at the level closest to the source of the
information. Informal meetings and discussions with the instructor
or the university official responsible for the record should be
utilized to satisfy a particular inquiry. The disposition of this
request should be made within a reasonable period of time.

Formal Request and Right to a Hearing

The student must be advised by the university of the right to a
formal appeals hearing if the university instructor or other
official decides not to amend the education records of the student in
response to the informal request. An appeal must be made in
writing through the university official responsible for the record.
The hearing will be conducted in accordance with the following:

The hearing will be held within a 30-day time period after the
receipt of the request. A student must be given reasonable advance
notice of the date, place, and time of the hearing.

The hearing will be conducted by the university registrar or
his or her designee, who will serve as chair, two members of the
faculty or staff, and two students. The provost of the university will appoint
committee members who do not have a direct interest in the outcome
of the hearing.

The committee is an administrative aid and not a judicial body
and, therefore, does not follow formal rules of court
procedure.

The student may retain counsel (not necessarily legal counsel)
at his or her own expense and the respondent may also be advised by
counsel. Counsel may be present, if requested, during all
testimony, but may only advise the complainant or respondent.

The student must be afforded an opportunity to present evidence
relevant to any alleged misleading or inaccurate information
contained in the record.

The committee will present its findings, in the form of a
recommendation, to the provost of the university.

The committee must present its recommendation in writing to the
provost of the university within 30 calendar days after the conclusion of the
hearing. The recommendation will be based solely on the evidence
presented at the hearing and will include a summary of the evidence
and the reasons for the recommendation.

The provost’s decision is not subject to appeal within
the university system.

If, as a result of the hearing, the university decides that the
record is misleading, inaccurate, or otherwise in violation of the
privacy rights of the student, it will correct the
education records of the student accordingly and inform the student
in writing. This will be done usually within 45 days of the
original request by the student. However, if the university decides
that the information is not inaccurate, misleading, or otherwise in
violation of the privacy rights of the student, it will
inform the student of the right to place in the education records a
statement commenting upon the contested information in the education records,
setting forth any reasons for disagreeing with the decision of the
institution.

Any explanation placed in the education record of the student
will be maintained by the university as part of the education
record of the student as long as the record is maintained. If the contested portion of the
education record of the student is disclosed by the university to any party, the explanation
will also be disclosed to that party.

Complaints that cannot be resolved within the university may be
filed in writing with:

Enforcement

The secretary of education will investigate complaints and/or initiate his/her own investigation and report the findings in writing to the complainant and the university.

If the secretary of education finds a lack of compliance with
the act or regulations and determines that voluntary compliance
cannot be secured after providing a reasonable period of time, the secretary may take any legally available enforcement action in accordance with the act, including but not limited to the loss of federal funds.

Limitation on Destruction of Education
Records

No education record may be destroyed if there is an outstanding
request to inspect and review it.

Location of Records

The custodian of academic transcript records at ASU is the
university registrar.

Interpretation

Definitions

The right of students to review and inspect the education
records of the student and to control the review and inspection of
the education records by third parties.

Act

The federal Family Educational Rights and Privacy Act of
1974, also referred to as the Buckley Amendment and/or FERPA.

Attendance

A student is considered to be in attendance upon registering for a course offered in person, by paper correspondence, videoconference, satellite, internet or other electronic information and telecommunications technologies for students who are not physically present in the classroom..

Dependency

A student’s dependency on his or her parent for tax
purposes, as defined in the Internal Revenue Code.

Directory Information

Directory information, as provided in the table under the “Education Records” section of this policy, may be released to anyone without
consent of the student, unless the student indicates otherwise,
except to the extent that FERPA authorizes disclosure without
consent.

Directory Number

A unique number that is internally generated and used to manage e-mail service. It may
be displayed with an ASU e-mail address in Web directory searches.

Disclosure

Permitting access to or the release, transfer, or other communication of personally identifiable information contained in education records by any means, including oral, written, or electronic means, to any party except the party identified as the party that provided or created the record. Note that the Social Security Number or other nondirectory information, either alone or in conjunction with other data elements, may not be used to identify student records when disclosing or confirming directory information without the student’s written consent.

Education Records

An education record is any record that is directly related to a
student and is maintained by ASU or by a party acting for the
university. Education records include any information or data
recorded in any medium, including but not limited to: handwriting,
print, computer media, video or audio tape, film, microfilm, and microfiche.
For a list of records excluded from the definition of education records, see “Limitations on Inspection and Review of Education Records.”

Educational Institution/Agency

Any public or private institution/agency, including all of its components, that receives funds under any federal program for which the secretary of the U.S. Department of Education has administrative responsibility and are subject to the FERPA regulations.

Financial Aid

A payment of funds provided to an individual that is conditioned on attendance of the
individual at the university.

Legitimate Educational Interest

An interest in an education record that is justified under one
or more of the following conditions:

the information or records requested are relevant and necessary
to accomplish some task or determination related to the legitimate
educational interest of the student

the official needs to review an education record in order to fulfill his or her professional responsibilities for the university

the task or determination is an employment responsibility or a
properly assigned subject for the inquirer’s determination

and/or

the task or determination is consistent with the purpose for
which the records, information, or data are
maintained.

Parent

A parent, guardian, or an individual acting as a parent of the
student in the absence of a parent or guardian.

Personally Identifiable Information

The term includes but is not limited to the following:

student name

name of student’s parent or other family members

address of the student or student’s family

a personal identifier, such as the student’s Social Security Number, student identification number, or biometric record

other indirect identifiers, such as the student’s date of birth, place of birth, and mother’s maiden name

other information that, alone or in combination, is linked or linkable to a specific student that would allow a reasonable person in the school community, who does not have personal knowledge of the relevant circumstances, to identify the student with reasonable certainty

information requested by a person who the institution reasonably believes or knows the identity of the student to whom the education record relates.

School Officials (or University Officials)

Administrators, faculty, professional staff, academic advisors, clerical or support
employees, including ASU law enforcement unit personnel and ASU health staff; volunteers; a person or company with whom the university has contracted as its agent, acting with a legitimate educational interest, to provide a service instead of using university employees or officials (such as an attorney, auditor, collection agent, service provider); a person serving on the Board of Regents; staff in the Alumni Association and ASU Foundation offices; or a student serving on an official committee, such as a disciplinary or grievance committee, or assisting another school official in performing his or her tasks.

Secretary

The secretary of the U.S. Department of Education or his or her delegate.

Student

A student is any individual
formally admitted and is or has been in attendance at ASU. The term does not apply to applicants for admission, nor does it apply to persons who have been admitted but who have not registered.

Third Party Restriction

A restriction preventing a third party to whom an education
record has been released from releasing or redisclosing the information to anyone
except the student or ASU.

Cross-Reference

For related information, see SSM
203–08, “Affidavit of Dependency for Release of
Records.”